Personnel Hong Kong SFC License Details (ID 96255)

Personnel Hong Kong SFC License Details (ID 96255)

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in futures contracts	2019-01-02	2022-11-24
	Rep	Dealing in securities	2019-01-02	2022-11-24
Interactive Brokers Hong Kong Limited	RO	Dealing in futures contracts	2010-10-22	2015-04-15
	RO	Dealing in securities	2010-10-22	2015-04-15
	Rep	Dealing in futures contracts	2007-03-30	2010-10-22
	Rep	Dealing in securities	2007-03-30	2010-10-22
UBS DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2004-08-06	2007-02-23
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2004-08-06	2007-02-23
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2004-04-14	2007-02-23
	Rep	Dealing in securities	2004-04-14	2007-02-23
DEUTSCHE FUTURES HONG KONG LIMITED	Rep	Dealing in futures contracts	2003-06-19	2004-04-07
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	-	2004-01-08
	Rep	Asset management	-	2004-01-08
	Rep	Advising on securities	-	2004-04-07
	Rep	Dealing in securities	-	2004-04-07